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U.S. Securities and Exchange Commission

Investor Complaints and Questions

FY 2013 Annual Complaint Data

During FY 2013, the SEC's Office of Investor Education and Advocacy closed 22,626 files relating to complaints, questions, and other contacts received from investors, a decrease of 6,665 files compared to FY 2012.


Row 1;Advance fee fraud;1090
Row 2;Manipulation of securities/prices;1023
Row 3;Account administration and processing (maintenance, including account closing and redemption issues);655
Row 4;Account administration and processing (matters relating to daily activity in an account);583
Row 5;Retirement or 401(k) plans;454
Row 6;Ponzi/pyramid scheme;441
Row 7;Delivery of funds/proceeds;421
Row 8;Transfer of account;387
Row 9;General allegations of fraud (issuer);327
Row 10;Trade execution;320

* The vast majority of the FY 2012 ponzi/pyramid scheme complaints related to a particular highly publicized SEC enforcement action.




Modified: 5/20/2014